LEAD FIDUCIARY COMPLIANCE SPECIALIST

WHAT IS THE OPPORTUNITY?

The Lead Bank Fiduciary Compliance Specialist supports the execution, oversight, and continuous improvement of compliance programs within Wealth Management with specific focus on OCC 12 CFR 9 Fiduciary Activities and state fiduciary regulations including Delaware. This role partners closely with Compliance Officers and business stakeholders to ensure alignment with regulatory requirements while enhancing operational efficiency across functions. The position is responsible for monitoring compliance activities, supporting risk assessments and testing efforts, and contributing to the development and implementation of policies, procedures, and governance frameworks. In addition, the role serves as a liaison between compliance and business teams to identify process improvements, drive consistency in execution, and support business initiatives within a controlled and compliant environment.

WHAT WILL YOU DO?

• Support the execution and ongoing enhancement of Wealth Management compliance programs, ensuring alignment with regulatory requirements and internal policies with specific focus on OCC 12 CFR 9 fiduciary compliance program requirements.
• Monitor, analyze, and escalate compliance risks and issues, including client activity and regulatory exposure
• Partner with Compliance Officers and business stakeholders to support risk assessments, compliance testing, and monitoring activities
• Track and report on compliance testing results, open issues, and remediation efforts
• Act as a liaison between compliance and business units to ensure consistent interpretation and application of policies and regulatory requirements
• Contribute to the development, implementation, and maintenance of compliance policies, procedures, and governance frameworks
• Support regulatory and internal reporting requirements, including documentation of testing and monitoring activities
• Identify opportunities to enhance compliance processes and operational workflows; support implementation of improvements
• Assist in evaluating business unit activities, new products, and services to ensure compliance with applicable laws and regulations
• Support exam management activities and interactions with regulatory agencies, including preparation and follow-up
• Monitor and track compliance training and continuing education requirements
• Analyze compliance program effectiveness and support standardization efforts across functions
• Provide guidance to internal stakeholders by interpreting regulatory requirements within

WHAT DO YOU NEED TO SUCCEED?

Required Qualifications*

• Bachelor's Degree or equivalent
• 7 years of experience in banking, wealth management, compliance, or risk management
• 5 -7 years of experience supporting compliance programs, regulatory requirements, or operational risk activities
• Exposure to compliance testing, monitoring, reporting, or policy implementation

Additional Qualifications

• Experience in Wealth Management or Trust & Fiduciary compliance
• Familiarity with compliance risk management systems or frameworks
• Relevant certification (e.g., CRCM) or progress toward certification preferred
• Strong understanding of banking regulations, compliance frameworks, and risk management principles
• Working knowledge of Wealth Management, Trust & Fiduciary, or investment-related compliance environments
• Ability to interpret and apply regulatory requirements to business processes
• Experience supporting compliance testing, monitoring, and issue remediation
• Strong analytical and problem-solving skills
• Excellent organization and time management skills
• Strong written and verbal communication skills across all levels
• Ability to identify process improvement opportunities and support implementation
• Experience working cross-functionally between compliance and business teams
• Proficiency in Microsoft Office (Outlook, Excel, Word, PowerPoint)
• Experience supporting regulatory exams or audits preferred

WHAT'S IN IT FOR YOU?

Compensation
Starting base salary: $120,000 - $200,000 per year in NYC. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.

Benefits and Perks

At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:

• Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
• Generous 401(k) company matching contribution
• Career Development through Tuition Reimbursement and other internal upskilling and training resources
• Valued Time Away benefits including vacation, sick and volunteer time
• Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
• Career Mobility support from a dedicated recruitment team
• Colleague Resource Groups to support networking and community engagement

Get a more detailed look at our Benefits and Perks.

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